This chapter describes how
to establish and manage a records
disposition program, while
the following chapters explain
how to implement it. An effective
records disposition program
is the key to successful records
management, which, in turn,
ensures that Government activities
are documented properly, efficiently,
and economically. Managing
Federal records requires an
understanding of their essential
role in administering Government
affairs and of the relationship
of records management to other
information resources management
programs. It also entails a
knowledge of recordkeeping
requirements. Managing the
disposition program is based
on a directive establishing
the program and involves an
understanding of the program's
nature, of promotion methods,
and of evaluation techniques.

Records and Information Resources Management

Managing recorded information is an important responsibility of every Federal agency. As the basic administrative tool by which the Government does its work, records are a basic component of each agency's information resources. Like other resources, they must be managed properly for the agency to function effectively and comply with Federal laws and regulations.

the managerial activities involved with respect to records creation, records maintenance and use, and records disposition in order to achieve adequate and proper documentation of the policies and transactions of the Federal Government and effective and economical management of agency operations.

Along with data processing and telecommunications, records management is an integral part of information resources management (IRM). (See fig. 1-1.) IRM is concerned with the creation, maintenance and use, and disposition of information as well as with related resources, or assets, such as personnel, equipment, funds, and technology. In accordance with 44 U.S.C. 3504, the Office of Management and Budget (OMB) works with the National Archives and Records Administration (NARA) and the General Services Administration (GSA) to promote the coordination of Federal information policy, including records management. (For more details on OMB's role in IRM, see OMB Circular No. A-130, Management of Federal Information Resources.)

In setting forth records management responsibilities, Federal law requires each agency head to

make and preserve records
containing adequate and proper
documentation of the organization,
functions, policies, decisions,
procedures, and essential
transactions of the agency
and designed to furnish the
information necessary to
protect the legal and financial
rights of the Government
and of persons directly affected
by the agency's activities
[44
U.S.C. 3101].

The agency head must also "establish and maintain an active, continuing program for the economical and efficient management of the records of the agency" (44 U.S.C. 3102). This means establishing continuous and systematic control over the creation, maintenance and use, and disposition of agency records in accordance with statutory and regulatory requirements. It also involves cooperating with NARA and GSA to improve records management.

Recordkeeping Requirements

Central to the proper management of recorded information is the concept of recordkeeping requirements. These requirements are statements in laws, regulations, or agency directives providing general and specific guidance on particular records to be created and maintained by an agency. Since each agency is legally obligated to create and maintain
adequate and proper documentation of its organization, functions, and activities, it needs to issue recordkeeping requirements for all activities at all levels and for all media and to distinguish records from nonrecord materials and personal papers.

Agency recordkeeping requirements apply to both the creation and maintenance of records. In accordance with NARA regulations (36 CFR 1222), these requirements should prescribe the systematic creation and maintenance of all agency records.

Records Disposition and the Life Cycle of Records

Disposition is an integral part of records management and is the third and final stage of the life cycle of records. According to the life cycle concept, records go through three basic stages: (1) creation (or receipt), (2) maintenance and use, and (3) disposition. (See fig. 1-2.) Although this handbook focuses on disposition, all three stages of the records life cycle are interrelated. Thus an agency must coordinate its programs to manage records creation, maintenance and use, and disposition so that each program supports the others.

In Federal usage, records are referred to, depending on the stage they have reached in their life cycle, as "current," "semicurrent," or "noncurrent." These terms refer not to the date or age of the records, but rather to their use in the current daily work of the office.

As used in this handbook, disposition means those actions taken regarding Federal records after they are no longer needed in office space to conduct current agency business. These actions include:

Transfer of permanent records to the National Archives of the United States.

Disposal of temporary records no longer needed to conduct
agency business, usually by destruction or occasionally by
donation.

Disposition is a comprehensive term that includes destruction as well as other actions, such as the transfer of permanent records to the National Archives. After appraising agency records, NARA authorizes either their disposal or their transfer to the National Archives for preservation and research. Agencies must also receive NARA's approval before lending records outside the Federal Government, before retiring them to NARA-operated record centers, and before transferring them to other Federal agencies, unless exceptions have been granted. Finally, they must receive NARA's approval before establishing or relocating their records centers and before converting permanent or unscheduled originals to microfilm.

In contrast to disposition,
"disposal" in Federal
usage refers to only those
final actions taken regarding
temporary records after their
retention periods expire.
It normally means destruction
of the record content, such
as by recycling or burning
the record medium. The term
is also used occasionally
to mean the transfer of temporary
records from Federal control
by donating them to an eligible
person or organization after
receiving NARA's approval.

Nature of the Records Disposition ProgramDefinition

A records disposition program may be defined as those policies and practices designed to achieve effective and efficient disposition by scheduling all records; ensuring their proper storage, whether in agency or record center storage space; ensuring the authorized and prompt disposal of temporary records; and ensuring the timely transfer of permanent records to the National Archives.

Elements of the Program

The primary steps in managing a records disposition program are described below and summarized in figure 1-3. These steps make up the elements of the program:

Issue a program directive assigning authorities and
responsibilities for records disposition activities in the
agency, and keep that directive up to date.

Develop, implement, and update a comprehensive records
schedule.

Train all those taking part in the agency's records
disposition activities.

Publicize the program to make all agency employees aware of
their records disposition responsibilities.

Evaluate the results of the program to ensure adequacy,
effectiveness, and efficiency.

This chapter describes the steps involving the program directive, training, publicity, and evaluation. Later chapters elaborate on developing, implementing, and updating a comprehensive records schedule and on evaluating a records disposition program.

Basic Objectives

A records disposition program provides for the effective and efficient management of records no longer needed in office space to conduct current business. It has three main objectives: The prompt disposal of temporary records whose authorized retention periods have expired, the timely and systematic transfer to economical storage of records no
longer needed in office space but not yet eligible for final disposition, and the identification and transfer of permanent records to the National Archives for preservation and for reference and research use.

Most records cannot and should not be kept permanently or even for long periods. All records, regardless of media, fall into one of two categories for disposition purposes:

Temporary records. These should be destroyed, or in rare instances
donated, after a fixed period of time or after occurrence of a
specified event. The time may range from a few months to many years.
Most Federal records are temporary.

Permanent records. These are sufficiently valuable for historical or
other purposes to warrant continued preservation by the Federal
Government. Relatively few Federal records are permanent, although
the exact percentage differs from agency to agency.

In carrying out a records
disposition program, each
agency is responsible for
recommending to NARA retention
periods for potentially temporary
records and suitable transfer
dates for potentially permanent
records. The agency also
needs to determine where
the records should be kept
as they await disposal or
transfer to the National
Archives -- in the office,
in an agency storage facility,
or in a commercial or NARA
record center.

The Program Directive and Its ContentsManagerial Support

To establish an effective records disposition program, the agency head must issue a strongly worded directive making the program an integral part of the agency's records and information management program. Issuing this directive emphasizes the agency's commitment to the authorized, timely, and orderly disposition of records. It allows the agency to issue the proper delegations of authority, establish staffing patterns, and approve procedures. The sections that follow provide details about the directive and its contents.

Organizational Placement

The organizational placement of the records disposition program will influence its effectiveness. In deciding where to place the program, the agency must recognize it as an important management function and understand the need to relate it to other records and information management programs.

Program Responsibility and
Objectives

The directive should designate
the agency records officer
as the official responsible
for the program. It should
permit delegation of authority
to involve all parts of the
agency in the program. The
most important part of the
directive states these program
aims and duties:

To enable agency managers to make informed decisions.

To establish effective controls over all records and
nonrecord materials in the agency's custody.

To prepare, obtain approval of, and apply an up-to-date
comprehensive schedule for all agency records and nonrecord
materials.

To participate in the development of electronic and other
recordkeeping systems to ensure proper disposition.

To evaluate the program's results to ensure adequacy, effectiveness, and efficiency.

Staffing and Liaison

The directive should provide
for an adequate network of
personnel at major headquarters
offices and at field offices
to carry on records disposition
work under the agency records
officer's direction. The number
of people in this liaison group
depends on the size of the
agency and its organizational
complexity. Figure 1-4 illustrates
the structure of such a system.

Smaller agencies may find that records officers must directly conduct disposition activities. In a larger agency, the complexity and volume of records often require assigning some people full-time to the disposition function.

NARA's Role

The directive should indicate
NARA's role in the disposition
program. It should identify
NARA as the oversight agency
responsible for appraising
all Federal records, approving
their disposition, providing
program assistance and records
center storage, evaluating
records management programs,
and serving as the final custodian
of permanent records. It should
also point out that NARA operates
two different types of records
facilities:

NARA records centers. These provide temporary storage and
also reference service for records that are needed
infrequently by the creating agency but are not yet eligible
for disposal or transfer to the National Archives. Records
stored in a NARA records center remain in the legal custody of the creating
agency.

The National Archives. It stores the Federal Government's
permanent records, which are also known as the National
Archives of the United States. When transferring permanent
records to the National Archives, agencies also transfer
legal custody of the records. The National Archives takes
conservation measures needed to preserve the records and also
provides reference service, including service to the creating
agency.

Finally, if the directive
covers the entire records
management program, it should
also indicate the responsibilities
of GSA, OMB, and other oversight
agencies.

Program
Promotion

In working to develop
and apply a comprehensive records
schedule, the agency needs
to promote and evaluate the
overall records disposition
program. Program promotion
involves training employees,
publicizing the program, helping
develop and monitor electronic
and other recordkeeping systems,
and cultivating professional
relationships inside and outside
the agency.

Training

Proper training is an essential
part of a records disposition
program. Training should involve
those agency personnel directly
concerned with developing and
applying schedules. These individuals
include the agency records
officer and staff, records
liaison officers in central
and field offices, and files
custodians.

NARA's introductory records disposition curriculum provides a basis for internal agency training. In addition, records officers and their staffs can keep current by participating in more advanced training offered by NARA. These training opportunities are provided by NARA's Office of Records Services - Washington, DC and the Office of Regional Records Services. These and other training
opportunities are described on the NARA Records Management Programs training web page.

Agencies should periodically brief supervisors and other employees on their records responsibilities, particularly those relating to records disposition. Audiovisual recordings of training and briefing sessions may also be useful, especially for remote locations or regional offices.

Publicizing the Program

Besides formal training courses
and briefing sessions, other
ways to publicize the records
disposition program include:

Agency Newsletters. These are a valuable way of informing employees about the program.

Posters. Appropriate posters are available for display on office walls or in hallways. For electronic copies of other records management posters, see the NARA records management publications web page.

Developing and Monitoring
Recordkeeping Systems

Agency records officers should
participate in the design and
development of recordkeeping
systems to ensure the proper
disposition of recorded information.
Such involvement is especially
important in the design of
electronic records systems.
According to OMB Circular No.
A-130, agencies are to create
or collect information "only
after planning for its . .
. use, storage, and disposition."

The uncontrolled purchase of recordkeeping equipment can waste money and undermine the entire records disposition program. Records officers should review requests for major purchases of such equipment to ensure that the records are scheduled and the disposition instructions are being carried out promptly.

Cultivating Professional
Relationships

Records officers need to
develop and maintain good
professional relationships
both inside and outside the
agency in order to advance
records disposition and other
aspects of records management.
They should develop and maintain
such relationships with:

Records liaison officers.
An active network of such
officers, both at headquarters
and in the field, is essential
to the success of the agency's
records disposition program.
As those responsible for
coordinating records matters
in particular offices,
records liaison officers
provide the agency's records
officer with much of the
information and support
needed to develop and implement
the program.

Agency program managers.
Involving them is essential
to the disposition program's
success. They must be consulted
to determine the value
of the records to the agency
and to identify other users
and uses of the information.
Their involvement will
help ensure that records
officers participate in
the development of new
information systems. Assisting
these managers in disposition
and other records management
matters can open doors
to cooperation. Furthermore,
the records disposition
program offers program
managers an important service.
It provides the disposition
authorities required to
preserve the information
they need to do their jobs
well and to dispose of
information when it is
no longer needed.

Designers and managers
of electronic records systems.
Because of the growth of
such systems, records officers
should give special attention
to helping design and develop
these systems to ensure
adequate documentation
and especially proper disposition
of recorded information.

Agency historians.
Records officers should
assist agency historians
and consult with them in
the process of ensuring
adequate documentation
and identifying records
with potentially permanent
value.

Records managers
outside the agency.
Forming a network of contacts
outside the agency can
be useful. Attending meetings
sponsored by NARA and professional
societies, for example,
can lead to a sharing of
information and ideas about
records management problems
and possible solutions.
For information about professional
societies as well as NARA-sponsored
meetings, agencies should
contact NARA's Life Cycle
Management Division. Information
about NARA events is also available
on the records management
web page.

NARA staff members.
NARA staff members are
a key resource as agencies
develop or improve their
records disposition programs.
Besides approving mandatory
disposition authorities,
NARA provides services
such as information, training,
and record center storage.
It also takes legal custody
of permanent records once
their agency use has ended,
as described in later chapters
of this handbook.

Program
Evaluation

Good management necessarily
involves evaluating a program's
results to make improvements
such as shorter retention periods
for temporary records, more
timely disposal or transfer
of eligible records, and better
relations with other agency
managers and NARA.

Besides reviewing its records
schedule annually, each agency
is required to evaluate periodically
its records management programs,
including records disposition,
for compliance with relevant
laws and regulations and
for effectiveness. Likewise,
in its oversight role, NARA
periodically conducts single
agency and interagency evaluations
for the same purposes. (36
CFR 1220)

Chapter VII of this handbook
contains further information
on evaluating
an agency's records disposition
program.

Conclusion

An effective records disposition program is the key to successfully managing recorded information. Such a program helps ensure that agencies have the recorded information necessary to conduct Government business, avoid waste, and preserve America's documentary heritage for transfer to the National Archives. Managing this program is a
challenging and rewarding responsibility, one that deserves the highest priority.

After giving an overview of identifying and scheduling records, the chapters that follow explain how to carry out a records disposition program, especially by developing and implementing a comprehensive records schedule and by evaluating the program.